Michelle Lee Smith
Professional Summary
Michelle Lee Smith, who also goes by Shelly Lee Smith, is a registered financial advisor currently at WORTH FINANCIAL GROUP INC. located in Dallas, Texas. Michelle is registered as a RR (Registered Representative) and started their career in finance in 1995. Michelle has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michelle Lee Smith, Shelly Lee Smith
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
31 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ACCREDITED INVESTORS CO. | WORTH FINANCIAL GROUP INC. | PROMARK SECURITIES, INC. | JOHN DUELL GLASS III | BRADFORD/GLASS & CO. | BRADFORD-GLASS INVESTMENT CORPORATION
Contact Information
Main Address
16660 Dallas Parkway Suite 2200, Dallas, TX 75248-2612Mailing Address
16660 Dallas Parkway Suite 2200, Dallas, TX 75248Phone Number
(469) 916-4287Established
Texas since 05/24/1983Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
11SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
FINRA licenses (30 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GESIN, LISA LEE | PRESIDENT/OWNER/CCO | 4081195 |
Regulatory Assets Under Management
Total Number of Accounts
189AUM (Assets Under Management)
$137,904,962Disclosures
Regulatory Event
5Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
ACCREDITED INVESTORS CO. | WORTH FINANCIAL GROUP INC. | PROMARK SECURITIES, INC. | JOHN DUELL GLASS III | BRADFORD/GLASS & CO. | BRADFORD-GLASS INVESTMENT CORPORATION
State Registrations and Notice Filings
(5/12/2006)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1995About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michelle Lee Smith's CRS (Customer Relationship Summary).
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